我々はFINRAのSeries63試験関連赤本試験のソフトだけでなく、各方面のアフターサービスの上で尽力します。成功の喜びは大きいです。我々は弊社のソフトを通してあなたにFINRAのSeries63試験関連赤本試験に合格する喜びを感じさせると希望しています。 NewValidDumpsを選んだら、成功への扉を開きます。頑張ってください。 あなたは我々のソフトのメリットを感じられると希望します。

Uniform Securities State Law Series63 常々、時間とお金ばかり効果がないです。

価格はちょっと高いですが、Series63 - Uniform Securities Agent State Law Examination試験関連赤本試験に最も有効な参考書です。 試験が更新されているうちに、我々はFINRAのSeries63 問題サンプル試験の資料を更新し続けています。できるだけ100％の通過率を保証使用にしています。

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FINRA Series63試験関連赤本 - 自分の幸せは自分で作るものだと思われます。

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Series63 PDF DEMO:

QUESTION NO: 1
You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within
A. five years.
B. three years from discovery or five years from the event, whichever comes first.
C. two years from discovery or three years from the event, whichever comes first.
D. one year from discovery.
Answer: C
Explanation: If you discover that a security you purchased has not been registered with the state and was
sold unlawfully, you can file a civil claim against the seller as long as you do so within two years from discovery or three years from the event, whichever comes first, under the guidelines of the Uniform
Securities Act. Therefore, if you know about an unlawful sale for more than two years or if the sale took
place more than three years ago, you cannot sue. The statute of limitations has expired.

QUESTION NO: 2
A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of
A. fraud.
B. churning.
C. unauthorized transactions.
D. nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
Answer: D
Explanation: A broker-dealer of commodity futures contracts is guilty of nothing under the Uniform
Securities Act since a commodity futures contract is not a security as defined by the USA. The broker-dealer may, however, find himself in trouble with the Commodity Futures Trading
Commission,
which is the regulatory agency of the futures market.

QUESTION NO: 3
An investment adviser or its representative may
A. only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
B. exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.
C. exercise discretionary power in the purchase or sale of securities for a client's account as long as
D. exercise discretionary power in the purchase or sale of securities for a client's account only after
Answer: B
Explanation: An investment adviser or its representative may exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority
over the account within 10 business days of the first transaction placed, assuming oral authority has already been given.

QUESTION NO: 4
Which of the following would be an unsuitable recommendation for your 68-year-old client?
A. a Treasury Inflation Protected Security (TIPS)
B. a deferred annuity
C. an S&P 500 Index mutual fund
D. a high quality corporate bond fund
Answer: B
Explanation: A deferred annuity would be an unsuitable recommendation for your 68-year-old client.
These annuities charge significant penalties for early withdrawals-and "early" can mean before 10 years,
or even longer. A 68-year-old client may have the need to withdraw his money early to make medical payments.

QUESTION NO: 5
A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder
for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
A. I, II, and III
B. I and II only
C. II and III only
D. I and III only
Answer: C
Explanation: Only Selections II and III are true. A limited power-of-attorney gives the designated person
the right to obtain account statements, including tax statements, on behalf of the account holder and to
order the purchase of an asset for the account holder's account. Only a full (or unlimited) power-of-attorney allows the designated person to withdraw any proceeds from the account.

それほかに品質はもっと高くてFINRAのSAP C-THR83-2405認定試験「Uniform Securities Agent State Law Examination」の受験生が最良の選択であり、成功の最高の保障でございます。 CompTIA PT0-002J - 暇の時間を利用して勉強します。 Amazon MLS-C01-KR - NewValidDumpsが短期な訓練を提供し、一回に君の試験に合格させることができます。 そして、CompTIA SK0-005試験参考書の問題は本当の試験問題とだいたい同じことであるとわかります。 Microsoft MB-920J - IT業界では関連の認証を持っているのは知識や経験の一つ証明でございます。

Updated: May 26, 2022